Attachment 7 - ESC CSD Quality Assurance Surveillance Plan v2.doc

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**INFORMATIONAL PURPOSES ONLY**

Enterprise Services Center (ESC)

FEDERAL AVIATION ADMINISTRATION

ENTERPRISE SERVICES CENTER (ESC)

CUSTOMER SERVICES DESK (CSD)

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

ATTACHMENT 6

26 August 2016 Version 2

**INFORMATIONAL PURPOSES ONLY**

TABLE OF CONTENTS

1Enterprise Services Center (ESC)

INTRODUCTION

11.1 Purpose

11.2 Performance Management Approach

21.3 Performance Management Strategy

ROLES AND RESPONSIBILITIES

22.1 The Contracting Officer

22.2 The Contracting Officer’s Representative (COR)

IDENTIFICATION OF REQUIRED PERFORMANCE STANDARDS/QUALITY LEVELS

METHODOLOGIES TO MONITOR PERFORMANCE

34.1 Surveillance Techniques

34.2 Customer Feedback

34.3 Acceptable Quality Levels

QUALITY ASSURANCE DOCUMENTATION

45.1 The Performance Management Feedback Loop

45.2 Monitoring Forms

ANALYSIS OF QUALITY ASSURANCE ASSESSMENT

46.1 Determining Performance

46.2 Reporting

46.3 Reviews and Resolution

ATTACHMENT 1: PERFORMANCE MONITORING TECHNIQUES

6ATTACHMENT 2: QUALITY ASSURANCE MONITORING FORM

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 Customer Services. This plan sets forth the procedures and guidelines Enterprise Services Center (ESC) Customer Service Section (AMK-223) 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 Enterprise Services Center (ESC) Customer Service Section (AMK-223) 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), compelling business situations, such as work instruction compliance, 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 Contracting Officer’s Representative (COR) and the contractor. The CO will designate Primary COR and Task CORs 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 Contracting Officer’s Representative (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 Attachment 6, Quality Assurance Surveillance Plan. 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.

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 (include those that apply)

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

· Percentage Inspection (e.g. 90%) – Each month, the COR, shall review the generated documentation and enter summary results into the Surveillance Activity Checklist (Attachment 2).

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

Documented “Methods of Surveillance” are miniumums. Monitoring may be increased, if the contractor does not meet Acceptable Quality Levels (AQLs).

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 or 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.

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 mandates (e.g. Service Level Agreements), the desired performance level is established. Other levels of performance are keyed to the relative importance of the task deliverables to the overall mission performance within AMK-223.

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 forms 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 results are being achieved.

5.2.1 The COR and CO shall retain a copy of all completed QA surveillance forms.

6 ANALYSIS OF QUALITY ASSURANCE ASSESSMENT

6.1 Determining Performance

6.1.1 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.

6.1.2 Failure to meet the AQL may result in a deduction from the monthly payment, using the deduction percentages shown in Attachment 1. Attachment 1 represents minimum percentage and shall be increased if deemed necessary by the Government.

6.2 Reporting

6.2.1 At the end of each month, the Task COR will prepare a written report for the CO 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 (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 CO 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(s) 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

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 with concurrence from the CO should formulate tactical and long-term course(s) of action. Decisions regarding changes to metrics, thresholds, or service levels should be clearly documented.

6.3.4 Changes to service levels, procedures, and metrics may INCREASE if more monitoring is deemed necessary by the Government.

ATTACHMENT 1 – PERFORMANCE MONITORING TECHNIQUES

For Task Performance Work Statement - Level 1 – Attachment 2

TPWS

Attachment 2

Paragraph 5.1.1 – Level 1 Support

Review of monthly phone metric reports; review of monthly ITSM tool reports; observation COR/Management review monthly Staffing plan provided by Contractor COR/Service Desk Manager reviews survey system reports monthly

Consistent failure to meet performance requirements (more than 3 months in a contract year) may result in up to 5% reduction in price per month not met CPARS: Positive and negative performance shall be documented in CPARS.

TPWS Attachment 2

Paragraph 5.1.2 Certified Agents

CPARS: Positive and negative performance shall be documented in CPARS.

Attachment 2

TPWS Paragraph 5.2.1 Production Control and System monitoring

CPARS: Positive and negative performance shall be documented in CPARS.

THE ATTACHED “METHODS OF SURVEILLANCE” ARE MINIMUM’S. SURVEILLANCE WILL BE INCREASED, IF NECESSARY For Task Performance Work Statement - Level 2 – Attachment 3

TPWS

Attachment 3

Paragraph 5.1.1

Task 1: Level 2 – Computer Deployment Support for Existing Employees NIST policies ESC SPDA’s SCCM Testing and Deployment Process document.

FAA Order 1800.66 or current decision from FAA TCB or ESC security group FAA TCB IT Standards

TPWS 5.1.1.a.1

Minimum 20% Random Sampling of completed change requests

Review monthly reporting on completed change requests tickets to compare against METRIC Consistent failure to meet performance requirements (more than 3 months in a contract year) may result in up to 5% reduction in price per month not met CPARS: Positive and negative performance shall be documented in the federal Contractor Performance Assessment Rating System (CPARS).

TPWS

Attachment 3 Paragraph 5.2.1

Task 2: Asset and Quality Management Support n/a

TPWS 5.2.1.a.1

1. PC

Minimum 20% Random Sampling of completed change requests

Review monthly reporting on completed change requests tickets to compare against SLA Consistent failure to meet performance requirements (more than 3 months in a contract year) may result in up to 5% reduction in price per month not met CPARS: Positive and negative performance shall be documented in the federal Contractor Performance Assessment Rating System (CPARS).

THE ATTACHED “METHODS OF SURVEILLANCE” ARE MINIMUM’S. SURVEILLANCE WILL BE INCREASED IF NECESSARY

**INFORMATIONAL PURPOSES ONLY**

ATTACHMENT 2: QUALITY ASSURANCE MONITORING FORM

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:

PREPARED BY: ___________________________________

DATE: _________________

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