ATTACHMENT-002-QASP_DU100H-13-Q-0003.pdf

DU100H-13-Q-0003

Attachment 002

For Information Purposes Only

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

The Department of Housing and Urban Development

Office of Manufactured Housing Programs

Manufacturing Housing Consensus Committee (MHCC)

Administering Organization (AO)

April 26, 2013

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 Government’s Technical Representative

3 IDENTIFICATION OF REQUIRED PERFORMANCE STANDARDS/QUALITY LEVELS

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

ATTACHMENT 1: PERFORMANCE REQUIREMENTS SUMMARY

ATTACHMENT 2: SAMPLE 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 Administering Organization (AO). This plan sets forth the procedures and guidelines the Office of Manufacturing Housing Programs 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 Office of Manufacturing Housing Programs 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 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

Government Technical Representative (GTR) and the Contractor. The CO will designate one full-time

GTR 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 Government Technical Representative

The Government Technical Representative is designated in writing by the CO to act as his or her authorized representative to assist in administering a contract. GTR limitations are contained in the written appointment letter. The GTR is responsible for technical administration of the project and ensures proper government surveillance of the Contractor’s performance. The GTR 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 GTR 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 the

“Performance Requirements Summary”, Attachment 1. If the Contractor meets the required service or performance level, it will be paid the monthly amount agreed on in the contract.

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:

Validated Customer Complaint – User complaints will be received through various means of communications, telephone calls, email, forum entries, etc. User complaints will be recorded and maintained by HUD.

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

Periodic Inspection – The GTR 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 GTR, 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 GTR. The GTR will accept those customer complaints and investigate using the Quality Assurance Monitoring Form.

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 the Performance Requirements Summary Table, Attachment 1, for Contractor performance are structured to allow the Contractor to manage how the work is performed. For certain critical activities such as those involving Administrative Support: Systems, Manufactured Housing Consensus Committee (MHCC) Website, MHCC Meetings, Ballot Process, and

Technical Support, 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 the

Office of Manufacturing Housing Programs.

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 Performance Requirements Summary, Attachment 1.

5.2 Monitoring Forms

The government’s QA surveillance, accomplished by the GTR will be reported using the Quality

Assurance Monitoring Form, Attachment 2. The form, 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 GTR will 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.

6.2 Reporting

6.2.1 At the end of each month, the GTM or GTR will prepare a written report for the GTR 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 GTR may require the Contractor’s Project Manager, or a designated alternate, to meet with the CO and other government personnel as deemed necessary to discuss performance evaluation. The

GTR 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 GTR 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 GTR must coordinate and communicate with the Contractor to resolve issues and concerns regarding marginal or unacceptable performance.

6.3.3 The GTR 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.

ATTACHMENT 1: PERFORMANCE REQUIREMENTS SUMMARY

Performance

Measure

Performance

Objective

Performance

Standard

Minimum

Acceptable

Quality Level

Surveillance

Method

Incentive/

Disincentiv e

Reports and

Plans IAW paragraphs

5.2.1- Task 1

(a) and

6.1-6.7.1

The Contractor shall prepare and provide the required reports and plans with the required information by the specified due dates

The Contractor shall provide reports and plans that: address required information; reflect substance; are submitted timely;

are written in a clear and concise manner with no errors

Reports and plans are provided with minimum errors;

Contractor provides required revisions/ corrections within 10 business days of receipt of HUD’s comments

100%

Inspection by

GTR via review of reports and plans

**See note below

Administrative

Support:

System requirement

IAW

paragraphs

5.2.1-Task

1(b)-(c)

The Contractor shall provide a system for receipt, handling, tracking, transmittal and disposition of all related MHCC and contract correspondence

System identifies:

(1) receipt date of correspondence; (2) sender and contact number; (3) nature of correspondence;

(4) disposition of correspondence.

System addresses both correspondence received by and from the Contractor

Zero deviation from standard

Periodic

Inspection by

GTR of the system

MHCC Website

IAW

paragraphs

5.2.2-Task 2(a)-

(e)

The Contractor shall develop and maintain an updated website dedicated to the MHCC

Website: (1) is current and contains all required information and notices (e.g., meeting information, meeting minutes, and docket, etc.); (2) has link to HUD

Manufactured

Housing website; (3) is dedicated to

MHCC and contains

Zero deviation from standard

Periodic

Inspection by

GTR of the

MHCC website

Measure

Performance

Objective

Performance

Standard

Minimum

Acceptable

Quality Level

Surveillance

Method

Incentive/

Disincentiv e

MHCC related information only;

and (4) content and format is HUD approved;

MHCC

Members and

Membership

Applications

Information

IAW paragraph

5.2.3-Task 3

(a)-(g)

The Contractor shall maintain membership information such as, : (1) membership application information both current and historical; (2) membership status

(e.g., resignation, new applications, no longer qualified, can no longer participate, etc.); (3) compliance with

MHIA criteria and

ANSI procedures;

and (4) recommendations for membership

Membership information is current; all required information is addressed; current and historical application information is provided; HUD is kept current on membership status;

recommendations are compliant with

ANSI procedures and applications are compliant with

MHIA criteria

Membership and application information provided addresses most of the required information and is in compliance with ANSI procedures and

MHIA criteria.

All requests for missing information is provided by the

Contractor within

2 business days

100%

Inspection by

GTR provided information

MHCC

Meetings IAW paragraph

5.2.4-Task 4

(a)-(i)

The Contractor shall coordinate, attend and participate in all

MHCC meetings

(subcommittee, task force and teleconferences)

Sufficient resources are provided to support MHCC meetings; MHCC actions at meetings are properly documented

(proposals/recomme ndations); docket of pending actions and proposals is provided timely; and meeting dates, agenda and meeting minutes are provided and

Zero Deviation from Standard

Validated complaints by meeting attendees/ participants

Measure

Performance

Objective

Performance

Standard

Minimum

Acceptable

Quality Level

Surveillance

Method

Incentive/

Disincentiv e addressed timely for each meeting

Consensus

Committee

Process

Administration

IAW paragraph

5.2.5-Task 5

(a)-(c) and (e)-

(g)

The Contractor shall provide advice and assistance to the

MHCC regarding:

(1) MHCC statutory, regulatory and procedural guidelines; and (2) recommendations, proposals and revised standards.

Advice and assistance is provided to the

MHCC in accordance required guidelines;

proposals are submitted to HUD in the correct format and include the required analysis;

proposed revised standards are submitted to HUD in accordance with required guidelines

Proper advice and assistance is provided as reflected by the proper submission of proposals and revised standards

When revisions are required, the

Contractor is responsive within

2 business days of receipt of notice of an issue

100%

Inspection by

GTR of proposal and revised standards submissions

Docket IAW paragraph

5.2.5-Task

5(b)(2)

The Contractor shall develop, maintain and update a detailed docket of all recommendations and proposals submitted to the

MHCC

Docket information is current; docket is listed on MHCC website; docket is provided to HUD and all MHCC members prior to

MHCC meetings;

and docket includes are required links

Docket information is usually current and information is provided timely.

Contractor makes required revisions/updates to docket within

2 business days or receipt of request

Periodic

Inspection by the GTR of the docket

Ballot Process

IAW paragraph

5.2.5-Task 5 (d)

The Contractor shall administer the ballot process transmittal of proposals and the process, distribution, collection and accounting of all ballot results

Proposal are transmitted to

MHCC members with fixed timeframe for response; required justifications regarding negative or abstaining votes are provided to

Zero deviation from standard

Periodic

Inspection by the GTR of the ballot process

Measure

Performance

Objective

Performance

Standard

Minimum

Acceptable

Quality Level

Surveillance

Method

Incentive/

Disincentiv e

HUD; receipt of all ballots by MHCC members is ensured;

and final ballot results are provided to HUD

Technical

Support IAW paragraph

5.2.6-Task 6

(a)-(b)

Upon proper approval, furnish technical support to the MHCC in accordance with the

MHIA

Required documentation is provided to HUD to justify technical support; technical support is proposed utilizing staff with the appropriate skill set and knowledge;

and is provided timely to the MHCC upon receipt of approval

Zero deviation from standard

100%

Inspection by the GTR of each request for technical support

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: __________________________