Attachment 5- QASP Janitorial Service Geneva NY.docx

Section 1: Introduction This Quality Assurance Surveillance Plan (QASP) is pursuant to the requirements listed in the performance work statement (PWS) entitled Janitorial Performance Work Statement at the USDA-ARS facility in Geneva NY. This plan sets forth the procedures and guidelines that the USDA, ARS Geneva, NY location will use in monitoring the contractor's compliance with the Statement of Work technical performance.

A. Purpose The contractor through innovation, technology, and other means, shall perform the required cleaning services in building spaces. The frequencies shall be determined by the contractor. Performance will be based on the Government's evaluation of results, not the frequency or method of performance. The purpose of the QASP is to describe the systematic methods used to measure performance, identify the reports required and the government roles and responsibilities. The QASP provides a means for evaluating whether the contractor is meeting the performance standards set forth in the PWS. The results of the evaluation, reflected in the reports generated by implementing the QASP, become the basis for determining the service provider's revised compensation. Final results meeting the performance standards will be the determining factor for the success or failure of performance under this contract.

B. Performance Management Strategy The contractor's Quality Control Plan (QCP) shall set forth the staffing and procedures for self inspecting the quality, timeliness, responsiveness, customer satisfaction, and other performance requirements listed in the Performance Requirements Summary (PRS). The contractor will develop and implement a simplified performance management system with processes to assess and report their performance to the Contracting Officer Representative (COR).

1.B.1 Surveillance of Performance This QASP will define the approach taken by the COR/alternate to monitor, manage, and take appropriate action on the Contractor's performance against expected outcomes or performance objectives and standards communicated in the PWS and QASP. The primary methods of surveillance are random checks, observations, planned inspections, customer complaints, customer surveys, timeliness of corrective actions, work quality and review of records and files that are required to be maintained and delivered under this PWS (See Exhibit 1). The COR/alternates will obtain input from government employees as sources of comments on the contractor's performance.

C. Analysis of Quality Assurance Monitoring Results A. The Contracting Officer will work with the contractor in a collaborative manner to make decisions and take action based on performance evaluation information to ensure:

i. Corrective actions are being taken

ii. Customer expectations are being met

iii. The Contractor is presented with a look ahead to achieve proactive management including being alerted on upcoming events based on customer developments.

B. Failure to perform may result in deductions to the contractor's monthly invoice or termination of the contract.

i. Notifications: Consistent with FAR Part 49, the Contract Officer shall notify the contractor via email of failure to meet standards.

ii. Deductions: The Government has the right to withhold a portion of payment for the monthly cost of performing particular services based on failure to meet performance standards.

iii. Termination: If the Contracting Officer determines that the contractor has failed to perform to the extent that a termination for default is justified, the Contracting Officer shall issue a notice of termination, consistent with FAR Part 49.

iv. Failure to perform: The contractor may receive deductions or even termination based on failure to perform.

D. QASP Performance Requirement Summary (PRS) Table

E. Approach The PWS structures the acquisition around "what" services are required as opposed to "how" the contractor should perform the work. The data generated in a performance management approach provides information that indicates whether or not expected outcomes and standards for required services are being achieved adequately by the contractor. The interim process steps are delegated to the contractor, who will be responsible for managing the internal processes and practices used to achieve contractual outcomes. An effective system (QCP) with processes that generate well-defined performance data is central to performance management.

Performance management focuses on assessing whether or not outcomes are being achieved and migrates away from scrutiny on compliance with the processes and practices used to achieve the outcome. The only exceptions to process reviews are those required by law (local, state, and federal) and compelling business situations such as safety and health. An outcome focus provides flexibility for the service provider to continuously improve and innovate over the course of the contract as long as the critical outcomes expected are being achieved at the desired levels of performance. By focusing scrutiny on the desired outcomes rather than processes, performance management unlocks the contractor's potential for innovation and continuous performance improvement.

F. Strategy The Government will communicate performance objectives and standards expected from the contractor through the PWS. These performance objectives are summarized in the performance requirements summary (PRS) table of this QASP.

The Government representative will monitor performance and review performance reports furnished by the contractor on a regular interval basis to determine how the contractor is performing against communicated performance objectives and standards. The government will make decisions based on performance monitoring data and notify the contractor via email of those decisions. Note: the contractor shall be responsible for making required changes in processes and practices to ensure performance is effectively managed.

G. Roles and Responsibilities

1. The relationship between the Contractor and the Government will be a partnership committed to the mutual success of each patty.

2. The Contracting Officer (CO) will designate the Contracting Officer's Technical Representative (COR) as the government authority for performance monitoring.

3. The COR is responsible for developing insight into the specific required services and provide assistance to the Contractor to understand the performance expectations as stated in the PWS. The COR is specifically responsible for monitoring, assessing, and communicating the technical performance of the Contractor. The COR will have the responsibility for completing QA monitoring forms (refer to Exhibits 2 and 3) used to document the inspection and evaluation of the Contractor’s performance. Government surveillance may occur under the Inspection of Services clause for any service relating to the contract.

4. The COR is required to ensure changes in work are not initiated before a written authorization or a modification is issued by the CO. The CO will be responsible for overall monitoring of contract compliance and issuing modifications thereto.

H. Identification of Services to be Performed The contractor shall perform the specific requirements listed in the PWS for the following service areas:

i. Trash collection, recycling and removal

ii. Non-carpet floor maintenance

iii. Carpeted floor maintenance

iv. Restroom maintenance

v. Miscellaneous cleaning

I.

I. Methodologies to Monitor Performance

a. According to the inspection of services clause, federal acquisition regulation (FAR) 52.246-4, the government may evaluate the performance of the contractor. Such surveillance will be done according to standard inspection procedures or other contract provisions and any action taken by the CO, as a result of surveillance, will be in accordance with the terms of this contract. The government, through the COR, will monitor the contractor's performance on a continuous basis throughout the life of the contract to determine if they meet contract standards. See Section C.

b. The performance monitoring process depends upon free and open communication between the government and the Contractor. As such, the COR will coordinate with the Contractor to explore means to maintain or improve the overall service level within the constraints of the contract and the level of funding.

c. The contractor is expected to establish and maintain professional communication between its employees and customers. The primary objective of professional communication between employees and customers is customer satisfaction. Performance monitoring drives the contractor to be customer focused through initially addressing valid customer complaints and investigating the issues and/or problems. During the investigation, the contractor should document and report the following to the COR:

i. The nature of the complaint

ii. The results of the investigation

iii. Corrective actions taken on valid customer complaints.

(Note: customers will communicate complaints to the COR by using the established customer complaint collection process.) The COR will provide the Contractor with a copy for corrective action. The COR will accept customer complaints and will investigate using the quality assurance monitoring form customer complaint investigation in Exhibit 2. This form documents the nature of the complaint, the results of the COR investigation, and the corrective action taken by the contractor to resolve the complaint.

d. The Contractor shall submit a Quality Control Plan (QCP) that tracks performance against standards identified in the PRS. In the QCP, the Contractor shall detail how data will be gathered to identify how standards will be met. On the first day of the phase-in period, the Contractor shall implement the government approved QCP. The Contractor's QCP shall specifically address:

i. How the requirements of the PWS are provided as specified.

ii. The processes used by the Contractor to collect data shall include an inspection system covering all required performance asks;

iii. A method of identifying deficiencies in the quality of services performed;

iv. A list of corrective action or measures used to prevent deficient or unsatisfactory performance (should be included, if necessary in each monthly report).

v. The sources that will be used to collect data.

vi. The tools that will be used to collect data -e.g. information systems or other.

vii. How the supplier proposes to validate the data collected.

viii. Maintain a record of all inspection reports and have them available for the COR upon request.

e. During the contract period of performance, the government may modify or change the performance objectives and standards that the Contractor is required to maintain as the mission and priorities evolve. In addition, all changes to the QCP proposed by the Contractor shall be submitted to the CO and COR for review. After the Government grants approval, the Contractor shall begin using the QCP to monitor performance levels. The COR will review outcome expectations with the Contractor. Such changes will be accomplished in consultation with the CO and COR, and Contractor.

f. The contractor shall be required to report the overall service level via customer satisfaction results to the government. The contractor may propose satisfaction measurements with ratings that shall distinguish between the various levels of satisfaction as follows: excellent, very good, good, satisfactory, and poor/unsatisfactory. The contractor shall discuss with the COR, any satisfaction ratings receiving a "poor/unsatisfactory" rating. For such cases, the contractor should highlight its perspective on factors driving customer satisfaction and present plans to adjust methods for corrective action accordingly to bring the satisfaction rating up to an acceptable level.

J. Quality Assurance Reporting

a. The performance management feedback loop begins with the communication of expected outcomes. Expectations of service levels are expressed in the PWS and measured by the required performance monitoring procedures in Exhibit 1. The contractor will develop a performance management process to assess and report their performance to the COR, which will be submitted in a monthly performance management report.

i. The performance management report shall include all required performance monitoring procedures (Exhibit 1) with a description of performance trends. The COR and the contractor will jointly define the manner in which the information should be presented.

b. The Government’s QA monitoring, accomplished by the COR, will be reported using the monitoring forms in Exhibit 2 and 3. The forms, when completed, will document the COR's understanding of the contractor's performance under the contract to ensure that the PWS requirements are met.

i. In addition to QA monitoring, the COR will use the performance management report to assess the contractor's level of performance for each performance objective measured in this QASP (detailed in Exhibit 1). The COR must coordinate and communicate with the contractor to resolve issues and concerns of marginal or unacceptable performance.

ii. The COR will retain a copy of all completed QA monitoring forms and forward copies to the CO and contractor in a timely manner. The contractor is required to respond in writing to the COR regarding the QA monitoring forms recording performance that "does not meet standards" within 5 working days after receipt of the forms.

EXHIBIT 1

PERFORMANCE MONITORING PROCEDURES

The following performance monitoring procedures shall be reported to the COR in the monthly performance management report. The contractor is encouraged to leverage technology in the compilation of performance data. The COR and contractor must coordinate and communicate to resolve issues and concerns of marginal or unacceptable performance. While the quality of all services of the PWS are important, standards for specific work requirements must be met.

I. QUALITY CONTROL PROGRAM (Performance Objectives And PWS References) A. Maintain a current inspection system for all required services and retain complete inspection records to ensure requirements of the PWS are met. (PWS Section 9)

i. PROCEDURE: The contractor's performance will be measured by verifying that records are maintained complete and are available 100 percent of the time. The contractor shall establish a process to ensure performance deficiencies, corrective actions are identified and quality of the service requirements are being met and that the associated records are correctly completed and continuously available. The COR will review the customer complaints and inspection records each month and will conduct periodic inspections of the work requirements to verify that records and the QCP are current and are correctly maintained 100 percent of the time. The number of inspections may be increased or decreased, as determined by the COR, based on inspection results. The contractor's performance will be measured by the total number of pertinent deficiencies identified as a result of each semi-annual inspection, which shall not exceed a combined total of 18 deficiencies per report. If more than 18 deficiencies are cited, $500 per deficiency will be deducted from the first monthly invoice following the report.

B. Trash Collection/Recycling/Removal (PWS Section 11.1)

i. PROCEDURE: The contractor will be measured by the number of deficiencies noted through scheduled and periodic inspections, customer complaints and how effective the contractor resolves work deficiencies. The contractor shall develop an efficient process for the collection, recycling and removal of trash so that the performance standard is met 95% of the time. Any pertinent deficiencies resulting from non-compliance with the QCP shall be corrected and the QCP shall be updated with new procedures to avoid reoccurrence. The contractor's performance will be measured by the total number of pertinent deficiencies identified as a result of each semi-annual inspection, which shall not exceed a combined total of 12 deficiencies per report. If more than 12 deficiencies are cited, $500 per deficiency will be deducted from the first monthly invoice following the report.

C. Non-Carpet Floor Maintenance (PWS Section 11.2)

i. PROCEDURE: The contractor's performance will be measured specifically by the quality/effectiveness of the contractor's techniques in meeting the standards and performance objectives of the PWS, using schedule and periodic inspections and customer complaints to determine if the acceptable quality level was maintained 95% of the time. The contractor's performance will be measured by the total number of pertinent deficiencies identified as a result of each semi-annual inspection, which shall not exceed a combined total of 12 deficiencies per report. If more than 12 deficiencies are cited, $500 per deficiency will be deducted from the first monthly invoice following the report. Missed notifications shall not exceed a combined total of 6 per report.

D. Carpeted Floor Maintenance (PWS Section 11.3)

i. PROCEDURE: The contractor's performance will be measured specifically by the quality/effectiveness of the contractor's techniques in meeting the standards and performance objectives of the PWS, using schedule and periodic inspections and customer complaints to determine if the acceptable quality level was maintained 95% of the time. The contractor's performance will be measured by the total number of pertinent deficiencies identified as a result of each semi-annual inspection, which shall not exceed a combined total of 12 deficiencies per report. If more than 12 deficiencies are cited, $500 per deficiency will be deducted from the first monthly invoice following the report.

E. Restroom Maintenance (PWS Section 11.4)

i. PROCEDURE: The contractor's performance will be measured by how effective work quality is maintained by meeting the performance standards and requirements of the PWS 95% of the time, using schedule and periodic inspections and customer complaints. The contractor's performance will be measured by the total number of pertinent deficiencies identified as a result of each semi-annual inspection, which shall not exceed a combined total of 12 deficiencies per report. If more than 12 deficiencies are cited, $500 per deficiency will be deducted from the first monthly invoice following the report.

F. Miscellaneous Cleaning (PWS Section 11.5)

i. PROCEDURE: The contractor's performance will be measured by scheduled and periodic inspections and customer complaints as to how effective work quality was maintained meeting the standards and requirements of the PWS, at the acceptable quality level of 95%. The contractor's performance will be measured by the total number of pertinent deficiencies identified as a result of each semi-annual inspection, which shall not exceed a combined total of 12 deficiencies per report. If more than 12 deficiencies are cited, $500 per deficiency will be deducted from the first monthly invoice following the report.

Exhibit 2: Quality Assurance Monitoring Form

Quality Assurance Monitoring Form

DATE AND TIME OF COMPLAINT CONTRACT NUMBER/ OR PROJECT:

SOURCE OF COMPLAINT

ORGANIZATION

INDIVIDUAL

NATURE OF COMPLAINT

PWS REFERENCE

VALIDATION

ACTION TAKEN BY CONTRACTOR (Responsible officer):

RECEIVED AND VALIDATED BY

Determination: Complaint Valid Complaint Invalid

Exhibit 3: Quality Assurance Monitoring

CONTRACT NUMBER: ______________________________________

SERVICE or STANDARD:

SURVEY PERIOD:

SURVEILLANCE METHOD (Check the applicable item):

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

ANALYSIS OF RESULTS:

Observed Service Provider Performance Measurement Rate: ______% Service Provider’s Performance (Check the applicable item):

Meets Standards Does Not Meet Standards Narrative of Performance During Survey Period:

Prepared By: _______________________________ Date: ______________