B08c_Attachment_1_-_Quality_Assurance_Surveillance_Plan.pdf

Quality Assurance Surveillance Plan (QASP)

Backflow Testing & Maintenance

For the National Park Service

National Mall & Memorial Parks

Contents

1.0 INTRODUCTION

1.1 PURPOSE

1.2 PERFORMANCE MANAGEMENT APPROACH

1.3 PERFORMANCE MANAGEMENT STRATEGY

2.0 ROLES AND RESPONSIBILITIES

2.1 Contracting Officer

2.2 Contracting Officer Representative

3.0 IDENTIFICATION OF REQUIRED PERFORMANCE STANDARDS/QUALITY LEVELS

4.0 METHODOLOGIES TO MONITOR PERFORMANCE

4.1 Surveillance Techniques

4.2 Customer Feedback

4.3 Acceptable Quality Levels

5.0 QUALITY ASSURANCE DOCUMENTATION

5.1 The Performance Management Feedback Loop

5.2 Monitoring Forms

6.0 ANALYSIS OF QUALITY ASSURANCE MONITORING RESULTS

6.1 Determining Performance

6.2 Reporting

6.3 Reviews and Resolution

6.4 List of Attachments

ATTACHMENT A2 – PERFORMANCE REQUIREMENTS SUMMARY

ATTACHMENT A3 – QUALITY ASSURANCE MONITORING FORM

ATTACHMENT A4 – CUSTOMER COMPLAINT INVESTIGATION

1.0 INTRODUCTION

This quality assurance surveillance plan (QASP) sets forth the procedures and guidelines the National Park Service (NPS), National Mall & Memorial Parks (NAMA) will use in ensuring the required performance standards or services levels are achieved by the contractor.

1.1 PURPOSE

The purpose of the QASP is to describe the systematic methods used to monitor performance and to identify the required documentation and the resources employed. The QASP provides a means for evaluating whether the contractor is meeting required performance standards.

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 (QA) documentation requirements, and describes the analysis of the QA monitoring results.

1.2 PERFORMANCE MANAGEMENT APPROACH

This QASP will define the performance management approach taken by the NPS NAMA to monitor the contractor’s performance to ensure realization of performance standards. 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 the contractor is achieving acceptable performance.

1.3 PERFORMANCE MANAGEMENT STRATEGY

The contractor is responsible for the quality of all work performed and shall measure quality through the contractor’s quality control (QC) program. QC is the output of work and includes all work performed regardless of whether the work is performed by direct employees, contractor employees, other teaming partners or subcontractors.

The government representative(s) will monitor performance and review performance reports furnished by the contractor to determine how the contractor is performing against performance standards. The contractor is responsible for making required changes in processes and practices to ensure effective performance management.

2.0 ROLES AND RESPONSIBILITIES

2.1 Contracting Officer

The contracting officer (CO) is responsible for monitoring compliance and administration, and for resolving any differences between the observations documented by the NPS/NAMA contracting officer’s representative (COR) and the contractor. The CO will designate a COR as a government authority for performance management.

2.2 Contracting Officer Representative

The contracting officer’s representative (COR), designated in writing by the CO to act as his or her authorized representative, assists in administering the contract. COR’s 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. The COR shall refer any changes that the contractor deems may affect price, terms, or conditions to the CO for action. The COR is responsible for completing the QA monitoring forms used to document the inspection and evaluation of the contractor’s work performance. Attachment A3 includes the Quality Assurance Monitoring Form.

3.0 IDENTIFICATION OF REQUIRED PERFORMANCE

STANDARDS/QUALITY LEVELS

The required performance standards and/or quality levels are included in Attachment A2, “Performance Requirements Summary.”

4.0 METHODOLOGIES TO MONITOR PERFORMANCE

4.1 Surveillance Techniques

To minimize the performance management burden, the government’s evaluation of contractor performance (when appropriate) shall use simplified surveillance methods. The primary methods of surveillance are:

Documentation ‐ Monitoring performed by the COR and to include photographic and written materials provided by the contractor. Includes monthly reporting review.

100% Inspection – Each month the COR shall review the generated documentation and enter summary results into the Quality Assurance Monitoring Forms

Periodic Inspection – The COR will perform up to three (3) inspections, virtual and/or in‐person.

4.2 Customer Feedback

The contractor shall 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 is measurable through customer complaints and surveys.

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 feedback may be obtained either from the results of formal customer satisfaction surveys or from random customer complaints. Any customer complaints will be investigated by the COR using the Quality Assurance Monitoring Form – Customer Complaint Investigation, identified in Attachment A4.

4.3 Acceptable Quality Levels

The acceptable quality levels (AQLs) included in Attachment A2, 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.

5.0 QUALITY ASSURANCE DOCUMENTATION

5.1 The Performance Management Feedback Loop

Communication of expected outcomes initiates the performance management feedback loop.

Attachment A2 expresses the performance standards expected of the contractor, and the performance monitoring techniques used to assess performance.

5.2 Monitoring Forms

The government’s QA surveillance, accomplished by the COR, will be reported using the monitoring forms in Attachments A3 and A4. The forms, when completed, will document the government’s assessment of the contractor’s performance to ensure achieving the required results.

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

6.0 ANALYSIS OF QUALITY ASSURANCE MONITORING RESULTS

6.1 Determining Performance

Government shall use the monitoring methods cited to determine whether the contractor has met performance standards, service levels, and AQLs. If the contractor has not met the minimum requirements, the government may request the contractor develop a corrective action plan to show how, and by what date, it intends to bring performance up to required levels.

6.2 Reporting

At the end of each month, the 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 (Attachments A3 and A4), 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 customer satisfaction regarding Task Order cost/technical/scheduling performance.

6.3 Reviews and Resolution

The COR may require the contractor’s project manager or designated alternate, to meet with the CO and other government personnel as deemed necessary to discuss a performance evaluation. The CO or COR will define a frequency of in‐depth reviews with the contractor, however, if the need arises, the contractor will meet with the CO or COR as often as required or per the contractor’s request. The agenda of the reviews may include performance assessment data, issues and concerns of both parties, the projected outlook for upcoming months and progress against expected trends, including a corrective action plan analysis, recommendations for improved efficiency and/or effectiveness, and issues arising from the performance monitoring process.

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

The COR and contractor should jointly formulate tactical and long‐term courses of action. Decisions regarding changes to metrics, thresholds, or service levels require clear documentation. A modification can incorporate changes to service, procedures, and metrics.

6.4 List of Attachments

Attachment A2 – Performance Requirements Summary

Attachment A3 – Quality Assurance Monitoring Form

Attachment A4 – Customer Complaint Investigation Form

ATTACHMENT A2 – PERFORMANCE REQUIREMENTS SUMMARY

Task / Critical Subtask

Quality/Performance Standard

Acceptable Quality Levels

Surveillance Method

Incentive

Exhibit 2 Inventory List (5.1 Task 1 and 5.3 Deliverables)

Ensure all data is accurate and up‐to‐date. If new equipment is installed the Inventory List is updated and forwarded onto the

COR.

100% Submitted, reviewed and Accepted by

COR; 100%

Positive: Contractor has documentation of each piece of equipment serviced; CPARS report Negative: Contractor can be held liable for deficiencies in the operations of pools and fountains if no report is received by the NPS; CPARS report

Testing Schedule (5.3 Deliverables)

Submission of one combined schedule sheet in a 12‐month calendar style format based on the DCWater reporting schedule for each device within 30 days of contract award.

100% Submitted, reviewed and Accepted by COR

Positive: Contractor and COR will have an easy‐to‐follow schedule to ensure quality of performance; Positive CPARS report Negative: Inability to positively track performance; Delay of monthly payment; Negative CPARS report; Cure Notice;

Termination of Contract

Maintenance (5.1 Task 1)

Maintenance is performed according to the scope, on time and equipment and systems are kept in an operational and safe status.

100% Checklist for equipment sent to COR, Random Inspection

Positive: Contractor has documentation; CPARS report Negative: Contractor can be held liable for deficiencies in the operations of pools and

Repairs (5.2 Task 2)

Repairs are conducted according to the scope and the systems are operational upon completion.

100% Reports to

COR.

Inspection.

Customer reports

Positive: CPARS report Negative: Delay of monthly payment; CPARS report; Cure Notice; Termination of Contract

Periodic Meetings (1.6.8)

Contractor is available for scheduled meetings with the COR and/or CO when requests

100% COR/CO

requests

Positive: CPARS report Negative: Delay of monthly payment; CPARS report; Cure Notice; Termination of Contract

Cleanings and Chemicals (5.1 Task 1)

Equipment is scheduled to be cleaned and cleaned properly.

Chemicals are all submitted and approved for use before any usage. SDS’s are kept on site at Ford’s Theater and sent to COR.

(100%) Random Inspection (Reports submitted to COR) Chemical use submitted

Positive: CPARS report Negative: Delay of monthly payment; CPARS report; Cure Notice; Termination of Contract

Site Cleaning /Conditions (5.1 Task 1)

All areas of the sites within this contract are maintained in a safe and tidy manner during work being performed and contractor removes all waste upon completion generated from their work.

100% Random Inspection, Customer Complaints

Positive: CPARS report Negative: CPARS report; Cure Notice

Reports (5.3 Deliverables)

Reports submitted are detailed and complete. Reports are submitted when required.

100% Reports Submitted to, and accepted by

COR

Positive: CPARS report Negative: Delay of monthly payment; CPARS report; Cure Notice; Termination of Contract

Repairs and Responses (5.2 Task 2)

Contractor responds to calls according to scope.

100% 100% Inspection by COR or POC

Positive: CPARS report Negative: Delay of monthly payment; CPARS report; Cure Notice; Termination of Contract

Staffing (1.6.10)

All requirements are met for staffing coverage.

100% Written documentation submitted to COR/CO, Proven ability to meet requirements in

PWS

Positive: CPARS report Negative: Delay of monthly payment; CPARS report; Cure Notice; Termination of Contract

Quality Control Plan (5.3 Deliverables)

Within thirty (30) calendar days of contract award, the Contractor shall develop and submit to CO &COR a QC plan

100% Submitted, reviewed and Accepted by

COR; 100%

Positive: CPARS report Negative: Delay of monthly payment; CPARS report; Cure Notice; Termination of Contract

Communication Communication is key for the success of this work. There are many sites and numerous pieces of equipment needing services.

Is it working or not

Contractor responds to COR/CO, reports issues, it is productive

Positive: CPARS report Negative: Delay of monthly payment; CPARS report; Cure Notice; Termination of Contract

ATTACHMENT A3 – QUALITY ASSURANCE MONITORING FORM

CONTRACT OR TASK ORDER:

TEAM LEAD:

SURVEY PERIOD:

SURVEILLANCE METHOD (Check):

Random Inspection 100% Inspection Periodic Inspection Customer Complaint

LEVEL OF SURVEILLANCE (Check):

Monthly Quarterly As needed

ANALYSIS OF RESULTS:

Service Provider’s Performance (Check): Meets Standards

Does Not Meet Standards

Narrative of Performance During Survey Period:

PREPARED BY: DATE:

ATTACHMENT A4 – CUSTOMER COMPLAINT INVESTIGATION

CONTRACTOR:

CONTRACT/TASK ORDER NUMBER:

DATE/TIME COMPLAINT RECEIVED: AM / PM

SOURCE OF COMPLAINT: (NAME)

(ORGANIZATION)

(PHONE NUMBER)

(EMAIL ADDRESS)

NATURE OF COMPLAINT:

RESULTS OF COMPLAINT INVESTIGATION:

DATE/TIME SERVICE PROVIDER INFORMED OF COMPLAINT:

AM / PM

CORRECTIVE ACTION TAKEN BY SERVICE PROVIDER:

RECEIVED AND VALIDATED BY:

PREPARED BY:

DATE: